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Rocky Sze Lok Yip

J.P. Morgan Securities LLC

Milpitas, CA

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Current Employers
J.P. Morgan Securities Llc

270 Park Avenue, New York, NY 10017 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2026-03-08
CA RA APPROVED 2022-05-20
  • TX RA
    APPROVED_RES
    Since 2026-03-08
  • CA RA
    APPROVED
    Since 2022-05-20

Branch Locations

1285 South Park Victoria Drive, Milpitas, CA 95035 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Cinemark Theaters Fremont CA 04/2001 07/2017
Wells Fargo Bank Sacramento CA 03/2015 03/2017
Jp Morgan Securities Llc Union City CA 04/2017 02/2021
Jpmorgan Chase Bank Union City CA 04/2017 02/2021
Jp Morgan Chase Bank, N.A. Oakland CA 02/2021 Present
Jp Morgan Securities Llc Oakland CA 02/2021 Present
  • 04/2001 → 07/2017
    Cinemark Theaters
    Fremont, CA
  • 03/2015 → 03/2017
    Wells Fargo Bank
    Sacramento, CA
  • 04/2017 → 02/2021
    Jp Morgan Securities Llc
    Union City, CA
  • 04/2017 → 02/2021
    Jpmorgan Chase Bank
    Union City, CA
  • 02/2021 → Present
    Jp Morgan Chase Bank, N.A.
    Oakland, CA
  • 02/2021 → Present
    Jp Morgan Securities Llc
    Oakland, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-04-16
S63 Uniform Securities Agent State Law Examination 2017-06-08
  • S66 Uniform Combined State Law Examination
    2022-04-16
  • S63 Uniform Securities Agent State Law Examination
    2017-06-08
Other Names
  • Rocky S Yip

View on SEC IAPD

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Other Offices

CHARLES SCHWAB & CO., INC. · Milpitas, CA
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NEW ASSETS INVESTMENT ADVISORS LLC · MILPITAS, CA
NEW ASSETS INVESTMENT ADVISORS LLC · MILPITAS, CA
INDEPENDENT FINANCIAL GROUP, LLC · Milpitas, CA
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